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New York Codes, Rules and Regulations (NYCRR)

Title 9 Part 9978

Executive Department

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7 sections

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9 NYCRR 9978.1 - Definitions

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
May 15, 2022
(a)Annual statement shall mean the annual statement of financial disclosure filed with the commission pursuant to local law, ordinance, or resolution or filed pursuant to General Municipal Law, section 811 or 812.
(b)Commission shall mean the Temporary State Commission on Local Government Ethics, established pursuant to General Municipal Law, section 813.

9 NYCRR 9978.2 - Scope

Source version current through May 15, 2022

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
May 15, 2022

Pursuant to General Municipal Law, section 813(18)(a)(1), the commission shall make available for public inspection the information set forth in an annual statement, except that the categories of value or amount set forth in the annual statement and any other item of information deleted from the statement pursuant to General Municipal Law, section 813(9)(h) or 813(17)(h) shall remain confidential and not be available for public inspection.

9 NYCRR 9978.3 - Statements access officer

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
May 15, 2022

The executive director of the commission is hereby designated as the statements access officer. The statements access officer shall:

(a)coordinate the commission's response to requests for public inspection of annual statements;
(b)provide information concerning the location of the annual statements, maintain a current list of annual statements for public inspection and respond to all inquiries relating to the availability to the public of the annual statements;
(c)receive and process requests for public inspection of annual statements in the manner provided in these regulations; and
(d)designate one or more members of the staff of the commission, as necessary, to serve as assistant statements access officer, and such assistants shall have the same functions and responsibilities as the statements access officer, except for the power to designate other assistants.

9 NYCRR 9978.4 - List of statements

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
May 15, 2022

The statements access officer shall maintain and make available for public inspection a current list of those annual statements which are available for public inspection. The list shall be sufficiently detailed to permit the requester to identify the annual statement sought. The list shall be updated periodically, as required, to add any additional annual statements that have been filed.

9 NYCRR 9978.5 - Requests for public inspection

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
May 15, 2022
(a)No member of the public shall be permitted to inspect an annual statement unless he or she has first submitted a request for public inspection of annual statements. A request for public inspection of annual statements shall be in writing on a form provided by the commission for such purpose and shall be identified as a request for public inspection under General Municipal Law, section 813(18)(a)(1).
(b)The request shall be filed with the statements access officer, Temporary State Commission on Local Government Ethics, 54 North Central Avenue, Elmsford, NY 10523 or such other address as the commission shall designate.
(c)The statement access officer may permit individuals to act as agent or authorized representative of the person seeking to inspect an annual statement.
(d)
(1)The statements access officer shall respond to a request for public inspection as soon as possible, but no later than 10 business days after the day of the receipt of the request.
(2)If more than 10 business days are required to act upon a request for public inspection, the statements access officer shall issue an acknowledgement of the receipt of the request within 10 business days after the request is received. The acknowledgement shall include an estimate of the date that the annual statement shall be available for public inspection.
(e)A request for public inspection shall contain the name of the individual whose statement is sought to be inspected and:
(1)the local agency by which the officer or employee is employed or with which he or she is affiliated; or
(2)the local elected office held; or
(3)the local political party office held; or
(4)the local elected office for which the individual is a candidate.

9 NYCRR 9978.6 - Inspection

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
May 15, 2022
(a)Annual statements may be inspected by the public in accordance with these regulations at the office of the commission every day that the office is open for business, during the hours 9 a.m. through 12 noon and 1 p.m. through 4 p.m. At the discretion of the statements access officer, the records may also be inspected at other times and places.
(b)The statements access officer shall delete from public inspection the categories of value or amount contained in the annual statements or any other item of information deleted from the statement pursuant to General Municipal Law, section 813(9)(h) or 813(17)(h).
(c)The annual statements are not available for photocopying, photographing, or mechanical duplication in any manner. Handwritten notes may be taken.
(d)No annual statement shall be removed from the custody of the commission.

9 NYCRR 9978.7 - Notice of subjects of requests for public inspection

Later State Register activity may affect this section.

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt

Any person who wishes to know if he or she has been the subject of a request for public inspection may request from the commission notification of whether such a request has been filed. That notification shall not indicate by whom the request was made.

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